Connecticut Department of Transportation

1 Connecticut Department of Transportation PROFESSIONAL SERVICES consultant SELECTION PROCEDURES MANUAL Prepared By: consultant Selection Office Office of the Commissioner January 2010 1 Table of Contents A. consultant Selection Process Overview 2 B. Operational Guidelines 4 Exemptions 4 Organization of the consultant Selection Office 4 Organization of the consultant Services Selection and Evaluation Panels 5 Performance Evaluations of Consultants 5 Responsibilities for Fiscal Records 6 Prequalification 6 Requests to Engage Consultants 6 Federal Approval for Major consultant Roles 7 Solicitation and Advertisement Procedures 7 consultant Responses 8 Determinations 9 Notification Responsibilities 10 Maintenance and Protection of Records 10 Code of Ethics 10 Equal Employment Opportunity

2 10 C. consultant Selection Panel Responsibilities 11 Appendix Connecticut State Statutes that Govern the Process 16 Connecticut Code of Ethics for Public Officials 20 Department Code of Ethics Policy Statements 21 Federal Law: 40 USC 1101 1104 (Brooks Act) 27 Federal Law: 23 USC 112 28 Federal Regulation: 23 CFR 172 34 Notice Concerning Subconsultant and Part-Time Personnel s Presence at Interviews 37 Individual Panel Member Certification Form 38 2 A. consultant Selection Process Overview The Connecticut Department of Transportation s ( Department ) process for obtaining professional consulting services is in accordance with Sections 13b-20b through 13b-20k of the Connecticut General Statutes (CGS) and all applicable Federal laws, regulations and policies.

3 This process is intended to permit the Department to select Consultants and award contracts for various professional services on an impartial, equitable and rational basis. Federal Compliance This process is in compliance with the following Federal laws and regulations: Federal Law 40 USC 1101 through 1104 (Brooks Act); Federal Law 23 UCS 112; and Federal Regulation 23 CFR 172 and as such, ensures that the Department advertises for professional consultant services, reviews and ranks the responses received, and selects consultants based on demonstrated competence and qualifications for the type of engineering and design related services being procured where cost is not a part of the selection process consistent with the required Quality Based Selection requirements as stipulated in the Federal regulations, laws and policies.

4 Any modifications to this document must be coordinated through the Federal Highway Administration. consultant Prequalification Every year, in accordance with CGS Section 13b-20e, the Department publishes notice in newspapers with a statewide circulation and various national trade publications soliciting firms to become prequalified in technical categories that there is an expected need for in the upcoming year. A Technical Qualifications Panel typically consisting of the Chief Engineer, the Engineering Administrator, and the Construction Administrator reviews all submittals and recommends prequalification in the categories that they deem a firm is technically capable.

5 consultant Selection Panels In accordance with CGS Section 13b-20c, consultant Selection Panels are established to evaluate, interview and furnish the Commissioner a list of the most qualified consulting firms for each anticipated contract for professional services. The Commissioner appoints three people from within the Department to serve as members of each Selection Panel and designates one permanent member of each Selection Panel to serve as Chairperson. The Bureau Chief requesting consultant services for a specific project appoints one additional person that must be approved by the Commissioner. The Bureau Chief of another Bureau may appoint another person, which must also be approved by the Commissioner, if that Bureau is administering the specific project.

6 Each Selection Panel is an independent entity, responsible only to the Commissioner. consultant Selection Office The consultant Selection Office (CSO) is a unit of the Office of the Commissioner. It is responsible for the administration and execution of all procedures necessary for the selection of professional consultants utilized by the Department . It provides the Selection Panels and the Commissioner with all information necessary to perform their duties in accordance with all relevant State statutes, Federal regulations, and Department policy and procedures, and acts as liaison for the Department with the consulting firms. 3 Requests to Engage Consultants Whenever a Bureau within the Department determines that there is a need to hire a consultant firm, they must receive written approval from the Commissioner to begin the process.

7 If there is a prequalified list of consultants with the expertise needed, a solicitation letter is sent by mail to each firm on the list notifying them of the Department s need, the general scope of the assignment, the information required for the Department s evaluation and any other pertinent information. If a prequalified list is not available, a legal notice is published in accordance with Section 13b-20e (c) and 13b-20g of the CGS. All professional services being solicited are also posted on the Department s website and the Department of Administrative Service s website. Review of consultant Submittals All responses from a solicitation are evaluated by a Selection Panel.

8 The Selection Panel members evaluate and rate all submittals independently utilizing uniform criteria appropriate to the nature of the proposed services in accordance with CGS Section 13b-20i. All individual panel member rankings are compiled with a volume and recent selection report for the Commissioner s approval to interview the highest rated firms in light of the volume and recent selection report. The top five firms from this compilation are then brought in for interviews with the Selection Panel that rated the initial submittals. It should be noted that if the Department is seeking the services of more than one consultant firm, a minimum of four firms plus the number of firms required are brought in for interviews.

9 Interviews The consultant firms are notified by mail of the time, place and format for the interviews. The interview format is uniform for all consulting firms for each assignment. The Panel asks each firm a predetermined set of questions that are relevant to the proposed assignment. Each firm gets the same amount of time to answer the questions and provide a wrap-up to the Panel. The individual Panel Members give a numerical rating to each question answered as well as for the wrap-up presentation. Final Selection(s) The individual panel member interview ratings are then compiled with a current volume and recent selection report for the Commissioner to make the final selection guided by the criteria in CGS Section 13b-20i.

10 Once the Commissioner makes a selection, the originating Bureau Head notifies the successful consultant firm and all other firms that were not selected. Communication Members of a Selection Panel shall not discuss any aspect of the consultant Selection Process with a consultant or anyone else with the exception of the Commissioner, Deputy Commissioner(s) or the CSO prior to, during or upon conclusion of the selection process. During the selection process, all inquiries on a particular project shall be referred to the CSO. The CSO exclusively is responsible for discussing any aspect of the selection process with an interested consultant during or after the selection process.